Sentences with phrase «operating as a broker»

The ASIC is a robust regulator that requires brokers such as Vantage FX to have strict internal control measures in place for accounting, audits and risk management before they are issued the license to operate as a broker.

Essentially, CarsDirect operates as a broker, a middleman who puts you in touch with the dealers that have the car and loan you want at the right price.

«The broker was an associate who had been given an exemption by RECA to operate as the broker on a temporary basis, as long as they completed their broker course and exams by June 1,» says Kap Hiroti, vice-president of operations, Real Canadian Property Management.

Not exact matches

She theorizes that Uber could broker a data - sharing partnership with the Montreal, as a condition for allowing it to operate.

PR: I started as a trader, then I was a private client broker, then I was in institutional sales, then investment banking, then a chief operating officer, and now I am a CEO.

According to the International Business Brokers Association, a company's value is determined by a compilation of factors such as sales, earnings, performance, market outlook, personnel, net book value, and the fair market replacement value of equivalent operating assets.

Last month, it won a rare victory when an Ontario court cleared the firm of improper licensing charges and said there was no evidence it operated as a taxi broker.

It has been widely anticipated that broker - dealers might largely exit the business of selling commission - based variable and indexed annuities entirely, in favor of operating as level fee fiduciaries.

«As alleged, Ross William Ulbricht operated Silk Road — a global illegal cyber business designed to broker criminal transactions — protected by a presumed anonymity and motivated by profit.

In addition, Saxo Bank A / S as a European Licensed Bank comes under greater regulatory scrutiny and has higher solvency requirements than brokers which do not operate with a full banking license.

Importantly, the analysis takes the same look as I did on how FinCEN stifles currency competition, «the guidance takes the position that if the broker or dealer transfers funds between the customer and a third party that is not part of the transaction, it is operating as a money transmitter.

Brokers can also operate with two hats — sometimes as a broker (just buying and selling securities) and at other times, giving you advice.

As such, the brokers will not need any licenses to operate in the crypto markets, which will be a great boost for them to expand their business all over the world.

more or less as a broker and if we consider it to be one than NADEX is at the moment the only regulated broker operating in the US.

The company functions more or less as a broker and if we consider it to be one than NADEX is at the moment the only regulated broker operating in the US.

Founded in 1905 as Winchester - Coe, the company was instrumental in changing the landscape of Arizona's territorial grocers, essentially setting the stage for how independent grocery brokers operate in the Southwest.

This consent order concerns deceptive advertisements published by My Travel North America subsidiaries that operate as airline ticket brokers, travel agents and Internet travel vendors.

Internet has made things easier for borrowers, as there are numerous loan brokers operating online.

EuropeFX is reliable as the broker operates within the framework of the guides imposed under MiFID and CySEC.

Without doing some research when you are looking to place and trade Binary Options online then you really are at the mercy of some of the poorly run and operated trading sites, with this in mind please do make sure that you have a look around our website for every single site listed has ticked all of the right boxes in regards to what they have to offer their customers and as such are listed as trusted Binary Options Brokers.

The key reason for the relative obscurity of this broker is due to the fact that they used to operate on a boutique business model and act as a personal broker for high net worth individuals.

Front - end loads are paid to investment intermediaries, such as financial planners, brokers and investment advisors, as sales commissions; as such, these sales charges are not part of a mutual fund's operating expenses.

Some financial institutions operate as both lenders and brokers.

I am a real estate broker of 28 years (3 more years as a salesperson), AND I teach real estate (I own and operate a real estate school) and have for most of those 28 years.

Front - end and back - end loads are not part of a mutual fund's operating expenses and are typically paid out to the selling broker and the broker - dealer as a commission.

As the forex market is an unregulated market, having a forex broker that is regulated ensures the broker will operate with transparency and fairness.

U-fi allows consumers to view and compare student loan programs from multiple lenders and does not operate as a student loan broker.

The STP model of brokerage, operated by ECN brokers, is accepted globally as the most transparent way to do forex trading.

As more brokers start to offer weekend trading, the differences between how they operate will grow.

Nonetheless, it seems that the binary options broker still operates and accepts new clients, as anyone can sign up.

As a new type of fund, NextShares do not have an operating history and may initially be available through a limited number of brokers.

Our goal is to provide you with a shortlist of brokers that meet a high operating standard as well as being able to meet all the traders» trading requirements.

The company functions more or less as a broker and if we consider it to be one than NADEX is at the moment the only regulated broker operating in the US.

They will bear all the burden even though they've always operated as honest brokers.»

As a new type of fund, NextShares have a limited operating history and may initially be available through a limited number of brokers.

In an ultra-competitive industry such as the online trading industry, it is nearly impossible for a non-legit broker to remain in operation for as long as IG has been operating.

TradeKing acts as an introducing broker for GAIN Capital, which is one of the largest forex brokers operating i

As of 1 January this year, however, Russia - based forex brokers are required to obtain a license from the central bank in order to operate in the country.

As of 1 January, 2016, locally - based forex brokers are required to be licensed by the CBR in order to operate in the country.

InterTrader operates as a market neutral broker and does not trade with its clients.

They operate ethically and are recognized by the online trading community as a broker with integrity.

Depositing and withdrawing is an integral part of Forex trading and if brokers want to operate smoothly, they will have to employ as much funding options as possible.

The Program is a discretionary wrap - fee program sponsored and operated by our affiliate, Capital One Advisors, LLC («COA»), for which we serve as the executing broker - dealer.

Operating as an online broker, Merrill Edge offers your basic investment opportunities, including stocks, bonds, and mutual funds.

In Italy, as in any other EU member, financial intermediaries, including forex and binary options brokers, are not allowed to operate without the proper authorization from the local authorities or the relevant regulator of any other EU country.

Although unregulated brokers shouldn't automatically be viewed as scammers, trading with them could entail risks such as a lack of guarantees that the firm's operating funds are kept separate from client funds.

By requiring forex brokers, banks, institutional investors and support industries to operate within a set of rules as defined by the forex regulatory agencies, traders and investors can have the confidence to invest in the forex market and this promotes the growth of the industry.

The broker's clients operated 478,009 over-the-counter (OTC) forex accounts in March, as well as 371,216 TFX Click365 accounts (for exchange - traded forex), 311,078 brokerage accounts, 172,054 binary options accounts, and 63,754 contracts for difference (CFDs) accounts.

The regulatory action comes amidst a sustained crackdown on unregulated and less - than - reputable brokers operating in Cyprus, as the regulator attempts to protect customers from unlicensed brokers that exhibit predatory practices.

Since this practice has been established as a trend, sports sponsorships, especially of popular sports celebrities, are still a preferred marketing strategy by brokers operating in the online retail forex and binary options business.